• Manager , Broker Dealer…

    Coinbase (Sacramento, CA)
    …regulated environment? We are looking for an exceptional Manager in our Broker Dealer Operations function, establishing the critical controls and ... doing (ie. job duties):* We are building out our Broker Dealer Operations function to...function to support our equities trading product. As a Manager , you will both lead and directly contribute to… more
    Coinbase (09/21/25)
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  • Manager , Investment Services

    Atria Wealth Solutions (Dublin, CA)
    …to execute and measure the plans following the credit union and the broker dealer 's guidelines. Responsibilities + Develop each employee to their highest ... L. P. (CFS) Patelco Credit Union is seeking a Manager , Investment Services Program in the Dublin, CA areas....Credit Union compliance training and those mandated by the broker - dealer . + Serve as a liaison between… more
    Atria Wealth Solutions (08/14/25)
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  • Fixed Income Compliance Manager

    Citizens (San Francisco, CA)
    …5 years' experience in Fixed Income Sales & Trading compliance at a FINRA registered broker dealer . + In-depth knowledge of SEC and FINRA rules (trade reporting, ... subsidiary of Citizens Financial Group, operates as a FINRA-registered institutional broker - dealer offering comprehensive services in M&A advisory, investment… more
    Citizens (09/24/25)
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  • Investment Officer/Senior Investment Officer

    Ventura County (Ventura, CA)
    …Analysis - Fundamental knowledge of credit risk assessment, issuer evaluations, and broker / dealer compliance requirements. + Technology and Investment Systems - ... investment strategies accordingly. + Negotiation & Relationship Management - Managing broker - dealer relationships to ensure best execution and favorable pricing… more
    Ventura County (10/04/25)
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  • Audit Manager II-Wealth Management

    City National Bank (Los Angeles, CA)
    …Retirement and Custody Services, Specialty Wealth Assets, Investment Advisory, Broker / Dealer , Investment Banking activities for CNB's Capital Markets, ... *AUDIT MANAGER II- WEALTH MANAGEMENT* WHAT IS THE OPPORTUNITY?...Registered and Unregistered Fund Vehicles, Support Functions ( Operations , Compliance, Risk). Additionally, the position is responsible for… more
    City National Bank (09/24/25)
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  • Regulatory Relations Analyst

    City National Bank (Los Angeles, CA)
    …Management Compliance roles, experience with a financial institution such as a broker / dealer and/or registered investment adviser. * For Wealth Management ... coordinate end-to-end regulatory activity within CNB and the broader Combined US Operations ("CUSO") from receipt of first day letter through remediation and… more
    City National Bank (08/24/25)
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